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MICHAEL D. BROOKS
MICHAEL D BROOKS, MICHAEL DOTOLLO BROOKS
CRD#: 5044407
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 15958 CITY WALK #240
SUGAR LAND, TX 77479
Registration History
20082010201220142016201820202022202420262 FIRMS2015 - Present (9 years)BMORGAN STANLEY (CRD# 149777)2013 - 2015 (1 year)BSCOTTRADE, INC. (CRD# 8206)2009 - 2013 (4 years)BINVESCO AIM DISTRIBUTORS, INC. (CRD# 7369)2008 - 2009 (<1 year)IAMORGAN STANLEY (CRD# 149777)2014 - 2015 (1 year)
License(s)

State Registrations

B
Texas 6/17/2015

IA
Texas 6/17/2015

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
15958 CITY WALK #240, SUGAR LAND, TX 77479
Registered with this firm since 6/17/2015

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
15958 CITY WALK #240, SUGAR LAND, TX 77479
Registered with this firm since 6/17/2015

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/02/2014 - 07/20/2015 MORGAN STANLEY (CRD#:149777) HOUSTON, TX
B
11/07/2013 - 07/20/2015 MORGAN STANLEY (CRD#:149777) HOUSTON, TX
B
05/14/2009 - 10/30/2013 SCOTTRADE, INC. (CRD#:8206) SUGARLAND, TX
B
10/02/2008 - 02/27/2009 INVESCO AIM DISTRIBUTORS, INC. (CRD#:7369) HOUSTON, TX
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.